Investment Company Act of 1940 – Section 2(a)(51) Trusts under the Will of Marion Searle March 29, 2005 RESPONSE OF THE OFFICE OF CHIEF COUNSEL ...
Securities Exchange Act of 1934 – Section 14(a) and Rule 14a8-(b)(1) Fidelity Magellan Fund – Shareholder Proposal of Walter J. Krieg March 10, 2005 Stuart ...
Investment Company Act of 1940 – Section 3(c)(1) and 3(c ) (7) The Goldman Sachs Group, Inc. March 8, 2005 RESPONSE OF THE OFFICE OF ...
Investment Advisers Act of 1940 – Rule 204A-1 and 204-2 Prudential Insurance Company of America March 1, 2005 RESPONSE OF THE OFFICE OF CHIEF COUNSEL ...
Investment Advisers Act of 1940 – Rule 206(4)-3 and Section 206(4) CIBC Mellon Trust Company February 24, 2005 RESPONSE OF THE OFFICE OF CHIEF COUNSEL ...
Investment Advisers Act of 1940 – Rule 206(4)-3 and Section 206(4) Goldman, Sachs & Co. February 23, 2005 RESPONSE OF THE OFFICE OF CHIEF COUNSEL ...
SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 201 [Release Nos. 33-8530; 34-51136; IA-2348; IC-26748] Adjustments to Civil Monetary Penalty Amounts AGENCY: Securities and Exchange Commission. ...
Investment Advisers Act of 1940 – Rule 206(4)-3 Morgan Stanley & Co. Incorporated February 4, 2005 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF ...
Investment Company Act of 1940 – Section 2(a)(42) and 17(a) Wells Fargo Alternative Asset Management, LLC – Interpretive Letter January 26, 2005 RESPONSE OF THE ...
The Commission is adopting a new rule and rule amendments under the Investment Advisers Act of 1940. The new rule and amendments require advisers to ...